Theodore Roman, financial advisor Greenwich CT
93 score

Theodore Roman

CRD Number: 1213050
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Theodore Roman (CRD# 1213050) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Greenwich, CT and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Greenwich, CT Jun 2016 - Current < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwich, CT Mar 2016 - Current < 1
Unemployed Stamford, CT Jan 2016 - Mar 2016 < 1
Wright Investors' Service, Inc. Greenwich, CT Dec 2012 - Jan 2016 3
Wright Private Asset Management Company Greenwich, CT Apr 2012 - Jan 2016 3
Wright Investors' Service Distributors, Inc. Greenwich, CT Jul 2009 - Jan 2016 6
Wright Investors' Service, Inc. Greenwich, CT Jul 2009 - Dec 2012 3
J.p.morgan Securities, Inc. New York, NY Jun 2008 - Jun 2009 1
Bear, Stearns Securities Corp. New York, NY Jun 2007 - May 2008 < 1
Bear, Stearns & Company Inc. New York, NY Sep 1997 - May 2008 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1984
S65 NASAA Investment Advisors Law Examination Apr 2012
Contact Info for Theodore S. Roman
Phone Number: 800-637-7455
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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